RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
R•••••• D••••• H•••••••
- P••••••• C•••••• S•••••••• I••• independent RIA currentsince Feb 12, 2013 · Hauppauge, Ny
- L••• K••• • C•••••• formerJan 17, 2012 to Feb 1, 2013 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• national BDMay 6, 2004 to Jan 19, 2012 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseMar 3, 2003 to Jan 30, 2004 · Atlanta, Ga
- L••• K••• • C•••••• to P••••••• C•••••• S•••••••• I•••left Feb 1, 2013, registered Feb 12, 2013 (11 days) · Other
- R•••••• J•••• • A••••••••• I••• to L••• K••• • C••••••left Jan 19, 2012, registered Jan 17, 2012 (-2 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jan 30, 2004, registered May 6, 2004 (97 days) · Wirehouse to affiliated broker-dealer or bank
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address